TESDA-OP-IAS-01-F05-A

Rev. 02 - 02/16/2021
COMPLIANCE AUDIT ACTION CATALOGUE
Technical Vocational Institutions (TVIs) / TESDA Technology Institutions (TTIs)

Name of Institution: SMI Institute Inc. Provincial / District Office: Pasay- Makati District
Address: Unit 3A, 3rd Floor, 1991 Wardley Building, San Juan St. Pasay City Date Audit Conducted: February 17, 2022

To be accomplished by Provincial Office/

To be accomplished by Auditee TVI/Company
District Office
Non-
Non-
Comments Comments Conformity
Conformity
on the on the Closed for
Proposed Target Closed for
Findings/ Identified Root Proposed Proposed Proposed Corrective
Qualification Area/ Process Corrective Implement- Correction
Description Cause Correction Action Correction Corrective Action:
(a) (b) Action ation Date Action:
(c) (d) (e) Action Action “Indicate Yes
(f) (g) “Indicate Yes
(h) (i) or No”
or No”
(k)
(j)
Secure and
Submit copy of
the following:
- Letter of
Digitalized copy
intent with Assigned Staff/
of Letter of Intent
Bread and Corporate and Letter of Intent and Stamp personnel to
and Board March 31,
Pastry Administrative Board Resolution Received by monitor and
Resolution was 2022
Production NCII documents was not presented DO. Maintain the
not prepared
- Signed and Documents.
prior to Audit.
Attested
Copy of
Board
Resolution
Curricular CBC was not Digitalized Copy Secure and Assigned Staff/ March 31,
Bread and Requirements presented of CBC was not Submit copy of personnel to 2022
Pastry prepared prior to Digitalized Copy monitor and
Production NCII Audit. of CBC to DO. Maintain the
Documents.
Curricular CBLM and Digitalized copy Secure and Assigned Staff/ March 31,
Requirements Session Plan were of CBLM and Submit copy of personnel to 2022
Bread and
not presented. Session Plan Digitalized Copy monitor and
Pastry
was not of CBLM and Maintain the
Production NCII
prepared prior to Session plan. Documents.
the audit.
Curricular List of tools, No personnel Secure and Assigned Staff/ March 31,
Bread and Requirements equipment was not assigned to Submit Copy of personnel to 2022
Pastry presented. monitor and the Document. monitor and
Production NCII maintain the Maintain the
documents. Documents.
 Curricular The result of No personnel Secure and Assigned Staff/ March 31,
Bread and Requirements institutional assigned to Submit copy of personnel to 2022
Pastry assessment was monitor and Institutional monitor and
Production NCII not presented. maintain the Assessment Maintain the
documents. Result to DO. Documents.
Faculty and The List of Non- No personnel Secure and Assigned Staff/ March 31,
Bread and Personnel Teaching Staff was assigned to Submit Updated personnel to 2022
Pastry not updated. monitor and copy of Non- monitor and
Production NCII maintain the Teaching Staff. Maintain the
documents. Documents.
Faculty and NC, NTTC and No personnel Secure and Assigned Staff/ March 31,
Personnel COE of Trainers assigned to Submit copy of personnel to 2022
Bread and
were all expired. monitor and the documents to monitor and
Pastry
TMC of the Trainer maintain the DO. Maintain the
Production NCII
was not documents. Documents.
Presented.
Program Schedule and Copy of Secure and Assigned Staff/ March 31,
Guidelines Breakdown of Schedule and Submit a Copy of personnel to 2022
Bread and
Tuition Fees was Breakdown of Schedule and monitor and
Pastry
not presented. fees was not Breakdown of Maintain the
Production NCII
prepared prior to Fees to DO. Documents.
audit.
Support MOA with Health No personnel Secure and Assigned Staff/ March 31,
Services Service Provider assigned to Submit a copy of personnel to 2022
Bread and
were expired. monitor and Updated MOA monitor and
Pastry
maintain the with Health Maintain the
Production NCII
documents. Service Provider Documents.
to DO.
Other Data Management No personnel Implement the Assigned Staff/ March 31,
Requirements and Security in assigned to Program. personnel to 2022
Program implement the Secure and monitor and
Bread and Registration was Program. Submit a copy of Maintain the
Pastry not implemented. the Documents Documents.
Production NCII (TOR, Diploma or
Training
Certificate) to
DO.
Mandatory There has been no No Clients and N/A N/A N/A
Assessment and training conducted scholarship
Bread and
Submission of since the program awarded to the
Pastry
MIS 03-02 was registered on TVI and COVID -
Production NCII
January 28, 2021 19 Pandemic
Rises.
Program There has been no No Clients and N/A N/A N/A
Performance training conducted scholarship
Bread and Measures since the program awarded to the
Pastry was registered on TVI and COVID -
Production NCII January 28, 2021 19 Pandemic
Rises.
 Other No Signage in No personnel to Submit a copy of Assigned Staff/ March 31,
Bread and Requirements offering Bread and update the pictures with the personnel to 2022
Pastry Pastry Production signage. updated signage monitor and
Production NCII NCII offering the Maintain the
program. Signages.
Other Observation/s: With designated Tool Keeper.

Prepared by: Approved by:

CRISTINA J. APLASCA DIR. RIZAL S. BAUTISTA

TVI Head/Administrator or Company Head Provincial Director

Date: ______________ Date: ___________________